Our Staff has compiled our research into a database of FINRA Broker Disclosures for Royal Alliance Associates, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Thomas Arthur Endersbe | 1407028 | 3 | 06/18/2003 | Customer Dispute | Settled | $11,641.00 | $0.00 | See FINRA Report |
| Kenward Lavon Stone | 1198779 | 21 | 06/16/2003 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gregory S Pang | 2465163 | 3 | 06/13/2003 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Randal Steven Ellis | 2714900 | 2 | 06/11/2003 | Customer Dispute | Settled | $98,596.90 | $0.00 | See FINRA Report |
| Brian S.C Ching | 2842647 | 1 | 06/10/2003 | Customer Dispute | Settled | $9,000.00 | $0.00 | See FINRA Report |
| Donald Evan Peabody | 2175218 | 4 | 06/09/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Arthur Payant | 845353 | 5 | 06/09/2003 | Customer Dispute | Settled | $29,000.00 | $0.00 | See FINRA Report |
| Robert James Gentner | 1067594 | 3 | 05/30/2003 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Samuel Wilson Watters | 2519478 | 1 | 05/30/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| George Robert Veater | 1482361 | 7 | 05/23/2003 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |